Preparing Whistleblowers for Reporting Research Misconduct

Abstract

Making an allegation of research misconduct can be stressful for a whistleblower. The Research Integrity Officer (RIO) can play an important role in helping reduce the stress by thoroughly discussing what whistleblowers can expect if they make an allegation. Through interviews with 77 RIOs who had recently handled a research misconduct case, we found that RIOs who addressed more topics as well as specific aspects of the topics were more likely to have used some type of memory aide in their initial contact with whistleblowers, talked with ORI staff or other RIOs about “hypothetical” research misconduct cases, or attended a RIO boot camp training. We believe that RIOs who more fully inform whistleblowers are providing timely preparation and building whistleblowers' confidence so they can make a more informed decision about reporting and experience less stress.

Keywords:

• Research Integrity Officer (RIO)
• Whistleblower
• Research Misconduct
• Preparing Whistleblowers
• Institutional Integrity

ACKNOWLEDGMENT

The authors thank, Nancy Lenfestey, MPH, and David Plotner for their roles in implementing this study.

This article is based on a study conducted by RTI International on 1% Evaluation Funds from HHS. The study report will be available at www.ORI.hhs.gov

Disclaimer

The views expressed are those of the authors and do not reflect the official position of the Office of Research Integrity, Department of Health and Human Services, or RTI International.

Notes

*There is no regulatory requirement that directs a RIO to prepare a complainant before filing an allegation. However there is direction from 42 CFR 93 300 which provides several overarching principles in handling an allegation for HHS funded research. In 93. 300 (b) it directs that the institution be responsive in a “thorough, competent, objective and fair manner”; in 93 300 (d) there is direction to the institution to protect the complainant; in 93 300 (e) it specifies the confidential handling of a complainant and 93 300 (f) directs the institution to “Take all reasonable and practical steps to ensure the cooperation of respondents.”